Job Description

 
JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 countries. The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity.
 
Global Information Management
 
Global Information Management is the 2nd line Compliance function responsible for identifying, measuring, analysing and reporting on Compliance Risks associated with records management. Global Information Management establishes and supports adherence to key policies and procedures and drives core compliance practices through alignment with the 7 Compliance Practices. The team works closely with business, legal, risk, oversight & control and testing functions to provide expertise on regulatory and business related records management related matters, assess and measure related risks and monitor and test the adequacy of the firm's records management and retention control environment.
 
 
Position Description
 
The Compliance Analyst will support the greater Global Information Management program with a focus on the records requirements within Risk Assessment and Issue Management. This position is responsible for reviewing risk/control assessments and all Issues/Action Plans related to records management. From the reviews this individual will be responsible for the development of analysis and metrics, and engagement with key stakeholders, where required amendments, remapping and/or guidance is required and in the development of scorecards and dashboards as needed.
 
Specific tasks include but are not limited to:
 
  • Review output from the RCSA and Application Risk and Control Assessment programs to confirm accuracy of details entered
    • Review each relevant assessment to determine if identified records risk has been correctly aligned to the appropriate Compliance Risk Program
    • Review risk selection against the processes and activities being carried out; advise assessment owners where amendments required
    • Review control selection against the processes and activities being carried out; advise assessment owners where amendments required
    • Analyse control ratings and supporting rationale provided; challenge assessors where rationale fails to evidence compliance to the requirements of the firmwide Records Management Policy
    • Engage with, and challenge, assessment owners where no risks/controls - relating to records management - have been selected but creation/management of high risk records has been determined
    • Monitor firmwide risk/control systems of record (i.e. FORCE or ITRC) for changes to assessment entries after engagements with assessors/key stakeholders have been completed
  • Review all Issues raised to ensure accurate records management and retention risk alignment and ownership
    • Review LOB owned issues to determine if the identified risk has been correctly aligned to the records management Compliance Risk Program
    • Review risk selection against the context of the Issues and Action Plans raised; advise Issue and Action Plan owners where remapping to appropriate risks is required
    • Review control selection against the context of the Issues and Action Plans raised; advise Issue and Action Plan owners where remapping to appropriate controls is required
    • Support the review of high severity Issues aligned to the Global Information Management aligned risks and develop onward guidance where Issue and/or Action Plan language requires amendment
    • Support the review of high severity Issues aligned to the Global Information Management aligned risks and develop onward guidance where Issue requires remapping to an appropriate Compliance or business function
    • Monitor firmwide risk/control systems of record for changes to Issue and Action Plan entries after engagements with assessors/key stakeholders have been completed
  • Review internal and external operational risk loss reporting and identify (and report to management) on events aligned to records risk
  • Responsible for managing individual workload throughout the risk assessment, issue management and operational risk loss review process, including:
    • Meeting deadlines
    • Engaging with appropriate Subject Matter Experts (SMEs)
    • Communicating and documenting review status
  • Monitor and take action to respond to compliance risk assessment and issue management metrics and feedback


Qualifications

  •  
    • Bachelor's Degree (or equivalent) preferred but not required  
    • Experience of risk and control processes preferred but not essential
    • Demonstrated ability to manage large analysis projects with multiple stakeholders while staying within deadlines
    • Excellent organizational, interpersonal and communication skills (written and oral)
    • Experience working with global audiences and remote teams
    • Ability to effectively interact with various levels of management and to clearly articulate key messages
    • Creative and strategic thinker with a strong control mind-set
    • An understanding of the risk and control self-assessment processes
    • An understanding of capabilities within the FORCE application
    • Intermediate knowledge of Microsoft Office applications (Excel, PowerPoint, Word)


Application Instructions

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